0001724134-20-000001.txt : 20200213 0001724134-20-000001.hdr.sgml : 20200213 20200212184642 ACCESSION NUMBER: 0001724134-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200213 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Claraphi Advisory Network, LLC CENTRAL INDEX KEY: 0001724134 IRS NUMBER: 461154256 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18255 FILM NUMBER: 20606232 BUSINESS ADDRESS: STREET 1: 120 VANTIS DRIVE STREET 2: SUITE 585 CITY: ALISO VIEJO STATE: X1 ZIP: 92656 BUSINESS PHONE: 9492150025 MAIL ADDRESS: STREET 1: 120 VANTIS DRIVE STREET 2: SUITE 585 CITY: ALISO VIEJO STATE: X1 ZIP: 92656 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001724134 XXXXXXXX 12-31-2019 12-31-2019 Claraphi Advisory Network, LLC

120 VANTIS DRIVE SUITE 585 ALISO VIEJO X1 92656

13F COMBINATION REPORT 028-18255 0000897378 028-03434 CONGRESS ASSET MANAGEMENT CO /MA 0001078635 028-11829 WINDWARD CAPITAL MANAGEMENT CO /CA 0001217950 028-10397 NED DAVIS RESEARCH 0001426940 028-12835 Horizon Investment Services, LLC 0001622757 028-17534 Elite Wealth Management, Inc. 0001551787 028-16629 Sterling Global Strategies LLC 0001702435 028-18145 W.E. Donoghue & Co., LLC 0001733173 028-18796 Howard Capital Management Inc. N MAUREEN MALONEY 949-393-5106 MAUREEN MALONEY ALISO VIEJO CA 02-12-2020 8 205 163465 false 1 0000897378 028-03434 CONGRESS ASSET MANAGEMENT CO /MA 2 0001078635 028-11829 WINDWARD CAPITAL MANAGEMENT CO /CA 3 0001217950 028-10397 NED DAVIS RESEARCH 4 0001426940 028-12835 Horizon Investment Services, LLC 5 0001622757 028-17534 Elite Wealth Management, Inc. 7 0001702435 028-18145 W.E. Donoghue & Co., LLC 8 0001733173 028-18796 Howard Capital Management Inc. 9 0001551787 028-16629 Sterling Global Strategies LLC INFORMATION TABLE 2 cl4q1913f.inftab.xml ABBVIE INCCOM00287Y10993310538SHSOLE 000ABERDEEN ASIA PACIFIC INCOMCOM0030091078018867SHSOLE 000ABERDEEN STD GOLD ETF TRPHYSCL GOLD SHS00326A10416611363SHSOLE 000ABERDEEN STD PRECIOUS METALSPHYSCL PM BASKET0032631002583380SHSOLE 000ACTIVISION BLIZZARD INCCOM00507V1095509255SHSOLE 000ALLIANZGI CONV INCOME FDCOM01882810322539166SHSOLE 000ALLIANZGI EQUITY & CONV INCOCOM0188291012189640SHSOLE 000ALPHABET INCCAP STK CL C02079K107230172SHSOLE 000ALPHABET INCCAP STK CL A02079K305411307SHSOLE 000ALPS ETF TRALERIAN MLP00162Q86637143664SHSOLE 000AMARIN CORP PLCSPONS ADR NEW023111206101447281SHSOLE 000AMAZON COM INCCOM023135106747404SHSOLE 000AMAZON COM INCCOM023135106236128SHSOLE212800AMERICAN CENTY ETF TRDIVERSIFID CRP0250721093156145SHSOLE 000AMERICAN FIN TR INCCOM CLASS A02607T10920215340SHSOLE 000ANNALY CAP MGMT INCCOM03571040920721997SHSOLE 000APOLLO GLOBAL MGMT INCCOM CL A03768E1052435098SHSOLE 000APPLE INCCOM037833100985433556SHSOLE 000APPLE INCCOM037833100238809SHSOLE280900ARBOR RLTY TR INCCOM03892310822415600SHSOLE 000ARES CAP CORPCOM04010L10338420589SHSOLE 000ARK ETF TRINNOVATION ETF00214Q10414150282708SHSOLE 000ARK ETF TRGENOMIC REV ETF00214Q3024749141687SHSOLE 000AT&T INCCOM00206R102303377604SHSOLE 000ATHERSYS INCCOM04744L1062319000SHSOLE 000BANCO SANTANDER SAADR05964H1058119500SHSOLE 000BANK AMER CORPCOM060505104209959609SHSOLE 000BERKSHIRE HATHAWAY INC DELCL B NEW0846707023381492SHSOLE 000BLACKROCK ENH CAP & INC FD ICOM09256A10940023210SHSOLE 000BLACKROCK ENHANCED EQT DIV TCOM09251A10467668194SHSOLE 000BLACKROCK ENHANCED GBL DIV TCOM09250110512711551SHSOLE 000BLACKROCK TAX MUNICPAL BD TRSHS09248X10028011519SHSOLE 000BLACKSTONE GROUP INCCOM CL A09260D1075429695SHSOLE 000BLACKSTONE MTG TR INCCOM CL A09257W1003649793SHSOLE 000BLUEROCK RESIDENTIAL GRW REICOM CL A09627J10243135771SHSOLE 000BOEING COCOM0970231059943052SHSOLE 000BURLINGTON STORES INCCOM122017106226992SHSOLE199200CALAMOS CONV OPP AND INC FDSH BEN INT12811710829026326SHSOLE 000CALAMOS STRATEGIC TOTL RETNCOM SH BEN INT12812510119314211SHSOLE 000CARNIVAL CORPUNIT 99/99/99991436583002484875SHSOLE 000CATERPILLAR INC DELCOM14912310113188922SHSOLE 000CBRE CLARION GLOBAL REAL ESTCOM12504G10059574196SHSOLE 000CHEVRON CORP NEWCOM166764100151512572SHSOLE 000CHEWY INCCL A16679L10933811668SHSOLE 000CINTAS CORPCOM172908105204758SHSOLE175800CISCO SYS INCCOM17275R10272315080SHSOLE 000CITIGROUP INCCOM NEW1729674247138929SHSOLE 000COLUMBIA SELIGM PREM TECH GRCOM19842X1092108915SHSOLE 000CONOCOPHILLIPSCOM20825C10474811497SHSOLE 000COPART INCCOM2172041063363696SHSOLE 000COSTCO WHSL CORP NEWCOM22160K1054591562SHSOLE 000CVS HEALTH CORPCOM1266501004986706SHSOLE 000DIREXION SHS ETF TRDLY FIN BULL NEW25459Y6942272400SHSOLE 000DISNEY WALT COCOM DISNEY2546871062561769SHSOLE 000DOUBLELINE INCOME SOLUTIONSCOM25862210934217300SHSOLE 000EASTMAN CHEMICAL COCOM2774321002463110SHSOLE 000EATON VANCE ENHANCED EQ INCCOM27827410543027049SHSOLE 000EXXON MOBIL CORPCOM30231G1022824047SHSOLE 000FACEBOOK INCCL A30303M10211765729SHSOLE 000FIRST TR EXCHANGE TRADED FDDJ INTERNT IDX33733E30210757725SHSOLE 000FIRST TR EXCHANGE TRADED FDFINLS ALPHADEX33734X13547514173SHSOLE 000FIRST TR EXCHANGE TRADED FDTECH ALPHADEX33734X17679510950SHSOLE 000FIRST TR EXCHANGE TRADED FDUTILITIES ALPH33734X184103035261SHSOLE 000FIRST TR EXCHANGE TRADED FDNASD TECH DIV33738R11852512184SHSOLE 000FIRST TR EXCHANGE TRADED FDRISNG DIVD ACHIV33738R50648913641SHSOLE 000FIRST TR EXCHANGE TRADED FDDORSEY WRT 5 ETF33738R6052377505SHSOLE 000FIRST TR MORNINGSTAR DIV LEASHS3369171092066336SHSOLE 000FIRST TR NASDAQ100 TECH INDESHS337345102133013286SHSOLE 000FIRST TR S&P REIT INDEX FDCOM33734G10844316975SHSOLE 000FIRST TR VALUE LINE DIVID INSHS33734H10670719618SHSOLE 000FLAHERTY & CRUMRIN PFD & INMCOM33847810028913342SHSOLE 000FLEXSHARES TRINTL QLTDV IDX33939L83728811871SHSOLE 000FLEXSHARES TRQUALT DIVD IDX33939L8603417032SHSOLE 000FLEXSHARES TRREADY ACC VARI33939L886267535336SHSOLE 000FORD MTR CO DELCOM34537086011412226SHSOLE 000GABELLI MULTIMEDIA TR INCCOM36239Q1099311653SHSOLE 000GENERAC HLDGS INCCOM3687361042112101SHSOLE1210100GENERAL ELECTRIC COCOM36960410329826740SHSOLE 000GLAXOSMITHKLINE PLCSPONSORED ADR37733W1053417250SHSOLE 000HANCOCK JOHN PREMUIM DIV FDCOM SH BEN INT41013T10523713155SHSOLE 000HANCOCK JOHN TAX-ADV DIV INCCOM41013V1003369123215SHSOLE 000HARLEY DAVIDSON INCCOM4128221082647101SHSOLE 000HEWLETT PACKARD ENTERPRISE CCOM42824C10917410940SHSOLE 000HOME DEPOT INCCOM4370761023791736SHSOLE 000HONEYWELL INTL INCCOM4385161068444767SHSOLE 000HP INCCOM40434L10527813520SHSOLE 000ILLUMINA INCCOM452327109216651SHSOLE 000INDEXIQ ETF TRUS RL EST SMCP45409B6282198505SHSOLE 000INSPERITY INCCOM45778Q1076397427SHSOLE 000INTEL CORPCOM458140100108418111SHSOLE 000INTERNATIONAL BUSINESS MACHSCOM4592001012291711SHSOLE 000INVESCO EXCHANGE TRADED FD TS&P500 PUR GWT46137V2663142477SHSOLE 000INVESCO EXCHANGE TRADED FD TS&P500 EQL TEC46137V2823541789SHSOLE 000INVESCO EXCHANGE TRADED FD TBUYBACK ACHIEV46137V3083915667SHSOLE 000INVESCO EXCHANGE TRADED FD TS&P500 EQL WGT46137V3572862468SHSOLE 000INVESCO EXCHANGE TRADED FD THIG YLD EQ DIV46137V56356029485SHSOLE 000INVESCO EXCHANGE TRADED FD TFINL PFD ETF46137V6219302492962SHSOLE 000INVESCO EXCHANGE TRADED FD TDWA MOMENTUM46137V8374126404SHSOLE 000INVESCO EXCHNG TRADED FD TRS&P MIDCP LOW46138E1984107628SHSOLE 000INVESCO EXCHNG TRADED FD TRPFD ETF46138E51151434275SHSOLE 000INVESCO EXCHNG TRADED FD TRGBL SRT TRM HY46138E66947620895SHSOLE 000INVESCO EXCHNG TRADED FD TRFNDMNTL HY CRP46138E71931616430SHSOLE 000INVESCO EXCHNG TRADED FD TRS&P SMLCP LOW46138G10257911384SHSOLE 000INVESCO QQQ TRUNIT SER 146090E1038534011SHSOLE 000ISHARES TRSELECT DIVID ETF4642871684524273SHSOLE 000ISHARES TRTIPS BD ETF464287176117410069SHSOLE 000ISHARES TRCORE S&P500 ETF4642872006552026SHSOLE 000ISHARES TRCORE US AGGBD ET4642872263823400SHSOLE 000ISHARES TRIBOXX INV CP ETF4642872423772946SHSOLE 000ISHARES TRS&P 500 GRWT ETF4642873092601343SHSOLE 000ISHARES TR1 3 YR TREAS BD464287457611172206SHSOLE 000ISHARES TRRUS MD CP GR ETF4642874812811842SHSOLE 000ISHARES TRRUS MID CAP ETF4642874995509232SHSOLE 000ISHARES TREXPANDED TECH4642875157123057SHSOLE 000ISHARES TRRUS 1000 VAL ETF4642875983492554SHSOLE 000ISHARES TRU.S. ENERGY ETF46428779637211570SHSOLE 000ISHARES TRCORE S&P SCP ETF4642878046988329SHSOLE 000ISHARES TRDOW JONES US ETF4642878466784244SHSOLE 000ISHARES TRIBOXX HI YD ETF4642885133193623SHSOLE 000ISHARES TRMBS ETF4642885883132901SHSOLE 000ISHARES TRSHORT TREAS BD4642886792992703SHSOLE 000ISHARES TRFLTG RATE NT ETF46429B65571314000SHSOLE 000ISHARES TRCORE HIGH DV ETF46429B663156115919SHSOLE 000ISHARES TRMSCI MIN VOL ETF46429B6973895929SHSOLE 000ISHARES TRCORE DIV GRWTH46434V62154813030SHSOLE 000JOHNSON & JOHNSONCOM478160104206014125SHSOLE 000JPMORGAN CHASE & COCOM46625H100216515532SHSOLE 000KADMON HLDGS INCCOM48283N10617739122SHSOLE 000KEYSIGHT TECHNOLOGIES INCCOM49338L1032842772SHSOLE 000KEYSIGHT TECHNOLOGIES INCCOM49338L1032001945SHSOLE1194500KINDER MORGAN INC DELCOM49456B10184740009SHSOLE 000KKR INCOME OPPORTUNITIES FDCOM48249T1062037129083SHSOLE 000LOCKHEED MARTIN CORPCOM539830109388996SHSOLE 000LULULEMON ATHLETICA INCCOM5500211092521087SHSOLE 000MASTERCARD INCCL A57636Q1048042694SHSOLE 000MEDICAL PPTYS TRUST INCCOM58463J3042124100595SHSOLE 000MEIRAGTX HOLDINGS PLCCOMG5966510238819403SHSOLE 000MERCK & CO INCCOM58933Y105113612491SHSOLE 000MICROSOFT CORPCOM594918104177511257SHSOLE 000MONOLITHIC PWR SYS INCCOM6098391052291287SHSOLE1128700NETFLIX INCCOM64110L106270834SHSOLE 000NEW YORK MTG TR INCCOM PAR $.026496045017111462SHSOLE 000NEXTERA ENERGY INCCOM65339F1019033729SHSOLE 000NIKE INCCL B6541061032162128SHSOLE 000NUVEEN S&P 500 BUY-WRITE INCCOM6706ER1015121372433SHSOLE 000NVIDIA CORPCOM67066G1046722855SHSOLE 000OCCIDENTAL PETE CORPCOM6745991052405823SHSOLE 000PAYCOM SOFTWARE INCCOM70432V102200755SHSOLE 000PAYCOM SOFTWARE INCCOM70432V102206777SHSOLE177700PAYPAL HLDGS INCCOM70450Y1033363105SHSOLE 000PFIZER INCCOM71708110346011749SHSOLE 000PHILIP MORRIS INTL INCCOM71817210997911506SHSOLE 000PIMCO DYNAMIC INCOME FDSHS72201Y10148114816SHSOLE 000PIMCO DYNMIC CREDIT AND MRTCOM SHS72202D10655221898SHSOLE 000PIMCO ETF TRENHAN SHRT MA AC72201R8332602555SHSOLE 000PIMCO MUN INCOME FD IICOM72200W10632820684SHSOLE 000PIMCO STRATEGIC INCOME FD INCOM72200X10443047251SHSOLE 000POOL CORPORATIONCOM73278L105209984SHSOLE198400PREFERRED APT CMNTYS INCCOM74039L10395171636SHSOLE 000PROSHARES TRPSHS ULT S&P 50074347R107181912062SHSOLE 000PROSHARES TRULTRAPRO QQQ74347X8313433966SHSOLE 000REALITY SHS ETF TRDIVCN LDRS ETF75605A40539110081SHSOLE 000REGIONS FINL CORP NEWCOM7591EP10034119891SHSOLE 000SALESFORCE COM INCCOM79466L3022341440SHSOLE 000SELECT SECTOR SPDR TRENERGY81369Y5062203672SHSOLE 000SERVICENOW INCCOM81762P1023521245SHSOLE 000SIRIUS XM HLDGS INCCOM82968B1039413100SHSOLE 000SOUTHERN COCOM8425871075418486SHSOLE 000SPDR GOLD TRUSTGOLD SHS78463V107669846870SHSOLE 000SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X7493757274SHSOLE 000SPDR INDEX SHS FDSS&P INTL ETF78463X77252012925SHSOLE 000SPDR S&P 500 ETF TRTR UNIT78462F1035841815SHSOLE 000SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A35968012244SHSOLE 000SPDR SERIES TRUSTS&P DIVID ETF78464A7633092868SHSOLE 000SPDR SERIES TRUSTS&P BK ETF78464A7972545369SHSOLE 000SSGA ACTIVE ETF TRGLOBL ALLO ETF78467V40080320045SHSOLE 000STAFFING 360 SOLUTIONS INCCOM PAR8523873071113506SHSOLE 000STARBUCKS CORPCOM8552441094975655SHSOLE 000STARWOOD PPTY TR INCCOM85571B10527911226SHSOLE 000STONE HBR EMERG MRKTS INC FDCOM86164T10716011620SHSOLE 000TESLA INCCOM88160R10112743046SHSOLE 000TWITTER INCCOM90184L1022708422SHSOLE 000UBS GROUP AGSHSH4209710718114400SHSOLE 000UNION PACIFIC CORPCOM9078181082881593SHSOLE 000UNITEDHEALTH GROUP INCCOM91324P10210663627SHSOLE 000VANECK VECTORS ETF TRUSTINTL HIGH YIELD92189F44538415283SHSOLE 000VANECK VECTORS ETF TRUSTINVT GRADE FLTG92189F48634213509SHSOLE 000VANECK VECTORS ETF TRUSTMORNINGSTAR WIDE92189F64386215739SHSOLE 000VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378353464132SHSOLE 000VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J4072334120SHSOLE 000VANGUARD GROUPDIV APP ETF9219088442852286SHSOLE 000VANGUARD INDEX FDSS&P 500 ETF SHS9229083638562895SHSOLE 000VANGUARD INDEX FDSGROWTH ETF9229087365863216SHSOLE 000VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428582365301SHSOLE 000VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF9219438582876524SHSOLE 000VEEVA SYS INCCL A COM9224751082081478SHSOLE 000VENTAS INCCOM92276F10073312697SHSOLE 000VEREIT INCCOM92339V10059764620SHSOLE 000VERIZON COMMUNICATIONS INCCOM92343V10469511322SHSOLE 000VISA INCCOM CL A92826C8395142737SHSOLE 000W P CAREY INCCOM92936U1093374211SHSOLE 000WESTERN ASSET HGH YLD DFNDFDCOM95768B10720413054SHSOLE 000WISDOMTREE TRYIELD ENHANCD US97717X5113346395SHSOLE 000ZOETIS INCCL A98978V1032011521SHSOLE 000ZYNERBA PHARMACEUTICALS INCCOM98986X1097011654SHSOLE 000